In a press release dated January 31, 2024, the Commission de Surveillance du Secteur Financier (the “CSSF”) announced changes to the method of exchanging information between UCI departments and investment fund managers in accordance with CSSF circular 19/721 - Dematerialisation of requests to the CSSF and further improvement of the transmission of specific communications.
Key changes
Emails from the UCI Departments (Métier OPC)
- The CSSF announced that, from January 31st , outbound emails from the UCI Departments (Métier OPC) in the context of the transmission of specific information (such as surveys, data collection and thematic reviews) will only be sent to email addresses of eDesk users defined as 'Board Member' and/or 'Conducting Officer' on the eDesk Portal.
- The CSSF reminds Investment Fund Managers to always keep the email addresses of eDesk users on the eDesk Portal up to date.
Exchanges related to AML/CFT
- The CSSF points out that communications relating to AML/CTF matters the “Board Member” and/or “Conducting Officer” may also be contacted in addition to the AML/CTF responsible officer.
- The CSSF recalls that the role of “AML/CFT responsible officer” shall be reserved for the RR (responsable du respect des obligations professionnelles) and RC (responsable du contrôle du respect des obligations professionnelles), and their backups considering the eDesk rights attributed to these functions.
Other exchanges directly between the CSSF and an Investment Fund Manager in relation to specific files
- Regarding the other exchanges the CSSF reminds that the CSSF process remains unchanged and the responsible persons within the Investment Fund Managers will continue to be contacted directly.
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